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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
JK&B Capital IV, L.L.C. C/O JK&B CAPITAL, TWO PRUDENTIAL PLAZA 180 N. STETSON AVENUE, SUITE 4500 CHICAGO, IL 60601 |
X | |||
JK&B Management IV, L.P. C/O JK&B CAPITAL, TWO PRUDENTIAL PLAZA 180 N. STETSON AVENUE, SUITE 4500 CHICAGO, IL 60601 |
X | |||
JK&B CAPITAL IV LP C/O JK&B CAPITAL, TWO PRUDENTIAL PLAZA 180 N. STETSON AVENUE, SUITE 4500 CHICAGO, IL 60601 |
X | |||
JK&B CAPITAL IV QIP LP C/O JK&B CAPITAL, TWO PRUDENTIAL PLAZA 180 N. STETSON AVENUE, SUITE 4500 CHICAGO, IL 60601 |
X | |||
KRONFELD DAVID C/O JK&B CAPITAL, TWO PRUDENTIAL PLAZA 180 N. STETSON AVENUE, SUITE 4500 CHICAGO, IL 60601 |
X |
/s/ JK&B Capital IV, L.L.C., by Nancy O'Leary, by power of attorney for David Kronfeld, its Managing Member | 08/01/2012 | |
**Signature of Reporting Person | Date | |
/s/ JK&B Management IV, L.P., by JK&B Capital IV, L.L.C., its General Partner, by Nancy O'Leary, by power of attorney for David Kronfeld, its Managing Member | 08/01/2012 | |
**Signature of Reporting Person | Date | |
/s/ JK&B Capital IV, L.P., by JK&B Management IV, L.P., its General Partner, by JK&B Capital IV, L.L.C., its General Partner, by Nancy O'Leary, by power of attorney for David Kronfeld, its Managing Member | 08/01/2012 | |
**Signature of Reporting Person | Date | |
/s/ JK&B Capital IV QIP, L.P., by JK&B Management IV, L.P., its General Partner, by JK&B Capital IV, L.L.C., its General Partner, by Nancy O'Leary, by power of attorney for David Kronfeld, its Managing Member | 08/01/2012 | |
**Signature of Reporting Person | Date | |
/s/ Nancy O'Leary, by power of attorney for David Kronfeld | 08/01/2012 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Shares are held directly by JK&B Capital IV, L.P. ("JK&B"). JK&B Management IV, L.P. ("JK&B Management") is the general partner of JK&B. David Kronfeld ("Kronfeld") is the managing member of JK&B Capital IV, L.L.C. ("JK&B Capital"), the general partner of JK&B Management. Each of JK&B Management, JK&B Capital and Kronfeld may be deemed to have sole voting and dispositive power over the shares which are held directly by JK&B, but each disclaims beneficial ownership of such shares except to the extent of their pecuniary interest therein. |
(2) | Shares are held directly by JK&B Capital IV QIP, L.P. ("JK&B QIP"). JK&B Management is the general partner of JK&B QIP. Kronfeld is the managing member of JK&B Capital, the general partner of JK&B Management. Each of JK&B Management, JK&B Capital and Kronfeld may be deemed to have sole voting and dispositive power over the shares which are held directly by JK&B QIP, but each disclaims beneficial ownership of such shares except to the extent of their pecuniary interest therein. |